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When you work here at TIAA, you’re not just in it for yourself. You are part of something bigger. A collective mission to make a difference – a collective mission we make our own.
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This position serves as a team member on more complex audits, working under the direction of audit leadership and management, supporting our Asset Management organization. This individual typically is involved in activities such as the execution of detailed programs for audits, the review of financial, operational, compliance and risk systems, processes and procedures to determine efficiency, effectiveness and alignment with internal policies, procedures, regulations and industry standards. Requires knowledge of financial services products, services and regulations; internal audit practices; risk management; and regulatory guidance and expectations (FRBB, OCC, SEC, State Insurance). Requires knowledge of the Institute of Internal Auditor’s (IIA) International Professional Practices Framework (IPPF) to which the Internal Audit Division’s methodology is aligned.
KEY RESPONSIBILITIES AND DUTIES:
Works on problems of diverse scope performing complex financial, operational and integrated audits of the company’s operations using the organization’s risk based internal auditing methodology. Analyzes audit data and observations and documents audit conclusions and findings. Prepares remediation plans and makes recommendations which are subject to review by audit management. Reviews and evaluates control structures to determine the adequacy of internal controls, operating efficiency and customer service. Performs tests of records and accounts and verifies compliance with regulations and sound business practices.
Minimum 2 years Internal Audit experience.
Bachelor’s degree in Accounting, Finance or other related discipline required.
A Certified Internal Auditor (CIA), Certified Public Accountant (CPA) or similar professional certification is a plus.
Securities licenses may be carried by the broker-dealer if the auditor is involved in auditing broker dealer activities.
Note: The candidate will be requested to obtain the CIA or CPA within a reasonable timeframe, based on prior experience.
The incumbent of this position will be designated as a ‘Tier 1 Access Person’ for personal trading purposes. Such a designation imposes restrictions on securities holdings and trading activities of the incumbent, and of certain family members, which should be fully understood before any offer of employment for this position is accepted.
Equal Employment Opportunity is not just the law, it’s our commitment. Read more about the Equal Employment Opportunity Law.
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This organization is an equal employment opportunity (EEO) employer, dedicated to maintaining a work environment free of bias, harassment, discrimination and retaliation. As an EEO employer, this organization expressly prohibits discrimination, harassment, and retaliation on the basis of race, creed, ethnicity, color, age, religion, sex, sex stereotype, pregnancy (including childbirth, breastfeeding or related medical conditions where applicable), sexual orientation, gender, gender identity, gender expression, transgender, marital status, national origin, ancestry, physical or mental disability, requesting a reasonable accommodation based on mental or physical disability, medical condition (as defined by applicable law), genetic history and information, citizenship status, military or veteran status, or any other status protected by federal, state, or local law or ordinance or regulation (collectively referred to here as ‘protected characteristics’).
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